West Virginia CLE - Finance and Banking Courses
This is a listing of Finance and Banking CLE Courses for West Virginia. Please make your selection below of West Virginia CLE courses. Click "Add To Cart" to purchase Individual CLE Courses. For more information about a particular CLE course, click on the "More Info" link. Click the "Preview" button to view a short preview of the course.
CLE Courses Available on DVDs, Audio CDs, USB Stick, Online & iOS/Android App and Live Webinars!
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On-DemandCD/DVD/USB, Online, iOS/Android App
Attorney Professionalism in the Capital Markets and Financial Service Industry
This CLE course will address the role of attorneys in capital markets. The course will cover public and private offerings as well as issues related to expressing legal opinions, advising corporate boards and representing officers, directors and shareholders in regulatory investigations and government proceedings, civil proceedings and processes facilitating remedial measures. The course will also present SEC Rule 102(e) and how to manage coordination with other professionals such as CP... More Info
$501.2Ethics Credits -
On-DemandCD/DVD/USB, Online, iOS/Android App
Gambling: The "Secret" Addiction
Recent studies have shown that there has been a dramatic increase in impairment due to alcoholism, drug addiction and mental health disorders among members of the legal profession. The statistics are compelling and clearly indicate that 1 out of 3 attorneys will likely have a need for substance use or mental health services at some point in their careers. What about that “other” addiction – Gambling ? The United States Supreme Court, in Murphy vs. NCAA, held that sports gamblin... More Info
$501.3General Credits -
On-DemandCDs, DVDs, USB Stick
Litigation Finance 101: How Funding Can Help Clients and Lawyers
Litigation finance lets third-party funders help lawyers and their clients meet the mounting costs of litigation. Its use is rapidly expanding in the United States, with funders investing in claims on both a single-case and portfolio basis. Our presenters—a litigation funder, and an advisor to clients who use funding—will explain the various ways funders invest in litigation, describe what funding transactions look like, and discuss the legal and ethical rules relevant to funding. More Info
$501.4General Credits -
On-DemandCD/DVD/USB, Online, iOS/Android App
Consolidated Audit Trail
Attend this program to hear how to prepare for compliance with the consolidated audit trail. During this session, panelists discuss how to prepare for compliance with the consolidated audit trail (CAT), including, firm obligations, deadlines, and resources. The panel also provides an update on the CAT National Market System (NMS) Plan. After attending this session, you will be able to: Review industry test release updates Discuss upcoming key dates Summarize how to prepare and... More Info
$501.06General Credits -
On-DemandCD/DVD/USB, Online, iOS/Android App
Enforcement Developments
This session provides an overview of new developments and trends in Enforcement, including Enforcement priorities. Panelists discuss how a matter finds its way to Enforcement and what happens while in Enforcement. Panelists highlight noteworthy decisions and settlements that illustrate FINRA priorities and provide a view into the process. Panelists also provide guidance on regulatory and compliance practices. More Info
$501.2General Credits -
On-DemandCD/DVD/USB, Online, iOS/Android App
Regulation Best Interest and Form CRS: Recent Observations and What to Expect
Attend this program to hear how firms are complying with Regulation Best Interest (Reg BI) and Form CRS (client relationship summary) rules. Join FINRA staff and industry panelists as discuss issues and observations about how firms are complying with the rules. Panelists share what they are seeing during compliance examinations, effective practices, and resources available to help firms comply with future initiatives. After attending this session, you will be able to: Discuss... More Info
$501.2General Credits -
On-DemandCD/DVD/USB, Online, iOS/Android App
Doing More With Less: Challenges of a Small Firm Compliance Department
Attend this program to hear how to mitigate regulatory risk in addition to identifying opportunities to spend money wisely while fulfilling their duties as officers of their firms. A strong compliance program does not have to be expensive to be effective but needs commitment from all levels. Join FINRA staff and industry practitioners for a discussion on mitigating regulatory risks and determining how to more effectively allocate resources when establishing and maintaining an effecti... More Info
$501General Credit -
On-DemandCD/DVD/USB, Online, iOS/Android App
FINRA’s Examination and Risk Monitoring Program
Attend this session to learn about the firm grouping structure and lessons learned during implementation. During this session, you will hear discussions around the firm grouping structure, lessons learned as a result of transformation, and what firms can expect going forward. After attending this session, you will be able to: Understand new organizational structures in the Exam, Specialist and Risk Monitoring Programs Discuss Risk Monitoring activities Discuss what firms can... More Info
$501.2General Credits -
On-DemandCD/DVD/USB, Online, iOS/Android App
Fraud Detection and Prevention
Attend this session to hear about recent and noteworthy fraud cases. This session focuses on recent or noteworthy fraud trends impacting the financial services industry. Panelists highlight emerging trends in financial frauds related to the brokerage industry, provide tips to identify potential “red flags,” and discuss what to do if a fraudulent scheme is suspected. After attending this session, you will be able to: Understand emerging trends in this new COVID environment in sec... More Info
$501.2General Credits -
On-DemandCD/DVD/USB, Online, iOS/Android App
Gamification, Social Media, and Digital Communications Perspectives
Attend this session to hear how regulatory experts are evaluating the rapidly changing world of digital communications to capture investors’ attention and influence their behavior. The panel discusses risks and benefits of gamification features on broker-dealers’ apps and websites, and also considers the effects of digital marketing, notifications and alerts, and the increased impact of social media during the pandemic and beyond. More Info
$501.2General Credits